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INSTITOTION 

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PUB DATE 
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Allen, 2arl, Sr* 

A G\iide to Progrein Planning Vol* II* 

Texas Somthern OnxT* , Houston* Urban Besources 

center* 

DepartDient of dousing and Urban Deielopftent, 
Washington, D*c* * 
Oct 74 
HUD-1709 

17p*; For a related docament, see £A 008 788 
HF*$0*83 HC-i?1*67 Plus Postage* 

^Guidelines; Objectives; Prograi Budgeting; ^Program 
Developient; Program Evaluation; ^Prograi Planning 



ABSTBACT 

This booklet is a siiplified guide for program 
planning and is intended to coiplesent a sonevhat lengthier companion 
booklet on program evaluation* ^ It spells out in outline fashion the 
basic eleients and steps involved in the planning process* Brief 
sections focus in turn on different phases of the planning process, 
including problem identification, prograi goals and objectives, 
prograi strategy, program iiplementation, program monitoring, program 
evaluation, and budget preparation* (Anthor/JG) 



* Documents acquired bj BBIC include man; inforial unpublished * 

* laterials not available from other sources* EBIC makes ever; effort * 

* to obtain the best cop; available* nevertheless, iteis of marginal * 

* reproducibility are often encountered and this affects the quality * 

* of the licrofiche and hardcopy reproductions BBIC makes available * 

* via the EBIC Document Reproduction Service (EDBS) * EDBS is not * 

* responsible for the quality of the original document* Reproductions * 

* supplied by EDBS are the best that can be made from the original* * 



ERLC 



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A Guide To Program 
Pla inxng 
Vol* II 

An Urban Resources Center Pxiblication 



■ 



Preparation; 
Earl Allen/ Sr* 

Coordinator of Field Operations 
Urban Resources Center 
^ Texas Southern University 

QO 

§ 



Director of the Urban Resources Center 



Hortense W» Dixon 



Director of Research 
Naomi W» jed^ 



Urban Resources Center Reaearch Staff 

Gwenn Bookman, Data processor 

Linda Brown, Program Analyst 

Kathryn Goode, Special Projects Planner 

Alicia Mathis# Supervisor of Field Enumeration 



Urban Interns 

Mary Daf f in 
Maynard Daffin 
Herbert Pain 
Robert Fisher 
Samuel McCloud 
Richard Santos 



The preparation of this report was financed from funds provided 
under HUD Contract No* 1709 with the Urban Resources Center in 
Texas Southetrn University by the United States Department of 
Housing andUtban Development* 



1.0 INTRODUCTION 



i 



This booklet is designed to serve as a simplified guide for PROGRAM PLANNING* 
It seeks to spell out in outline f^hion, the basic elements involved in the "planning 
process^ and the basic steps to be caken in going through this process* 

In an effort to achieve as much clarity as possible, a working definition of 
PROGRAM PLANNING/ as it is used herein, is stated below* 



1* PROGRAM 



2* PLANNING 



A program is defined as any organized or structure effort/ 
undertaken by one or more persons / designed to accomplish a 
desired end within a specified time period* 

Planning is defined as that ongoing activity engaged in by any 
pexson(s) who attempts to develop a systematic course of action 
to be followed in order to accomplish a desired end* 



These two working definitions will serve as the basis of the discussion that 
follows* Hopefully, what follows will provide the reader with a stable launching pad 
from which to conduct the kind of planning that will result in programs that can and 
will be effectively carried out* A brief description of each of the basic elements in 
the planning process is presented below* 



2.0 PROBLEM IDENTIFICATION 



One of the first things to be considered is development of an answer to the 
question, why is the PROGRAM needed? This question is designed to get at the issue of 
problem (s ) identification , What problems will this PROGRAM attempt to solve and/or 
prevent? In answering thxs question, it is extremely important to be realistic and as 
specific as possible. Although the problem(s) identified may be related to a much broader 
problem (i.e. poor housing throughout the inner city of Houston) / in describing t^ie 
problem, only that segment with which the PROGRAM will actually deal should be stated. 
For example. Project A identified poor housing as the problem with which it will be con- 
cerned. However, in stating the problem. Project A describes the poor housing as it 
exist within a specific inner city area — the Fourth Ward section of Houston. Include 
,in this description are such factors as the number of poor housing units, the availability 
and number of "good" housing in the area? the income of the people living in this area; 
and the existance of any low^income housing in the area, A description of the problem 
that included such specifics as these provides a good basis for determining whether or 
not there is a need for Project A in the Fourth Ward area, it also serves as a basis in 
determining what kinds of goals and objectives that should be set for Project A. 

2.1 Program Goals and Objectives 



In planning for any program, one of the most important first steps is the setting 
of objectives . This involves stating as clearly as possible what the program intenc3s to 
accomplish. However, in stating the program objectives, this should not be confused with 
the statement of program goals. Although the two are related, there is a basic difference. 
Generally speaking, program goals are the broad areas about which the program is con^ 
cerned, (an example of a program goal would be to increase the availability of low-^income 
housing). To state this broad goal as an objective, however, requires making some spe^ 
cific statement about what a particular program will do about low^-inccme housing and to 
what extent will it be done. For example, if one of the goals of Project A is to become 
actively involved in providing low-income housing in the Fourth Ward area of Houston? 
this goal can be formulated into specific objectives which state: 

1. "Project A will construct 125 low-income housing units in the Fourth Ward 
section of the city within the next 2 years with Federal grants." 

2. "Project A will rehabilitate 100 housing units In the Fourth Ward section 
within the next two years," 



3 



Once the objectives are stated in this fashion. Project A is in a much better 
position to deal with the variety of specifics effective planning requires* Thus in 
setting program objectives, it is important to keep at least three things in mind; 

1» The objectives should be related to one or more of the program goals • 

2» The objectives should state as specifically as possible what the program 
xntends to do in order to accomplish the program goals • 

3. The objectives should be stated in some measurable terms, i»e» numbers, times, 
money , people , etc • 

In the absence of clearly defined and clearly stated objectives, none of the other 
steps in the planning process can be performed with any degree of effectiveness • 

2.2 Program Strategy 

Once the program objectives have been clearly defined and clearly formulated, the 
next important step is to determine how the program will go about accomplishing these 
objectives • At this point, the concern is to consider several possible approaches and 
then decide on the most practical one* This is a very important activity* Failure to 
consider the various possibilities available could well mean that the program will be un- 
successful in achieving one or more of its objectives* Consequently, extreme care should 
be taken when developing a program strategy * Consideration should be given to a number of 
factorsf chief among wjiich is the availability of the necessary resources* If, for example. 
Project A develops a strategy that fails to take into consideration the fact that there 
is an 18 to 24 month freeze on all low--income housing projects, and therefore, the local 
PHA office is not accepting any more applications, because it already has a backlog, it 
obviously cannot achieve this particular program objective within the desired time frame, 
if at all* If, however, in developing the strategy. Project A had considered several al- 
ternative sources for acquiring the necessary resources, and had determined that these 
were available, if needed, in all likelihood this project would experience no delay in 
achieving its objective* Therefore, in developing a program strategy , several of the more 
important factors tO- be considered are; 

1* WbAt resources are necessary, and are these available? 

2* What are the various sources of possible funding? 



3» What are the specific requirements for each funding source, (i»e») 
matching costs , non-profit status, tax exempt numbers, etc*? 

4» If necessary resources are not available, should achievement of a particu- 
lar program objective be attempted? 

5* What other measures, if any, can be taXen to achieve a particular program 
objective? 

There are, to be sure/ other factors to be considered and effective program plan- 
ning requires that they be considered* However, careful consideration of these will 
suggest ethers that must be considered before leaving this important phase of the planning 
process* 



2 • 3 Program Implementation 



Haying developed and selected a program strategy , the next step is to decide how 
the selected strategy will be carried outl What will the events be that must occur in 
order to achieve the objective (s) • This phase of the planning process, which is called 
program implementation , is the point at which the specific tasks that will be performed 
by the program staff are spelled out* As was true for the other phases,. this one requires 
a great deal of consideration • It is necessary to be extremely specific as to what will 
be done, how it ^11 be done, and by whom* There are several ways by which the planning 
of the implementation phase can be conducted* Generally speaking, however, this can best 
be accompliJshed by thinking in terms of the various tasks that have to be performed in 
order to i.arry out a particular strategy* These tasks should be listed in the order 
in which the events must occur* There must be some indication relative to the estimated 
time required to complete the task* For example, one of the objectives of Project A is 
to provide 125 units of low-income housing in the Fourth Ward section of the city* The 
strategy selected by Project A called for the accomplishment of several major tasks, 
among these are: 

1* Preparation and submission of an application to FHA to secure necessary 
funding * 

2» Selecting and securing the site on which the units will be erected* 



3» Establishing a special housing committee* 



5 



The accomplishment of these tasks is essential in order for Project A to make the neces- 
sary progress toward the achievement of one of its program objectives • Thus, the comple- 
tion of these major tasks should be among the "milestones" that are established for 
Project A* In this context , milestones are series of major tasks that are accon^lished 
in order to achieve a particular program objective • That is, "milestones" are indicators 
that significant progress is being made toward the achievement of an objective* 

In identifying major tasks to be accomplished, it is also necessary to give care- 
ful consideration to the various steps' that must be taken in order to complete these 
tasks* In this regard. Project A must consider the following: 

1* The order in which the major tasks are to be accomplished* 

2* How, when and by whom will the application to FHA be prepared? 

3* How, when, and by whom will the site be selected and secured? 

4* How, and when will the special housing committee be established, and who will 
serve on this committee? 

These are just several of the steps that must be taken in order to accomplish ^ 
certain major tasks related to achieving one of Project A's objectives* They represent, 
however, a major part of Project A's program implementation* In effect, the way Project 
A describes how it intends to perform these tasks, constitutes its program implementation * 
Not only does this description tell what Project A will do, it also tells how it will be 
done and by whcMn* One way of showing this graphically is the use of a Gantt Chart which is 
often used as a management tool* (See Exhibit A) 

2*4 Program Monitoring 



Effective PROGRAM PLANNING requires that provisions be made whereby periodic checks 
can be made to determine what a program is doing once it begins operation, and to what 
extent activities compare with what was pletnned* This process is called program monitoring 
In establishing an effective monitoring system it is necessary that measurable "milestones'^ 
are clearly identified and specific procedures established for determining when these 
milest/^nes have been accon^Ixshed or the progress made toward the accom^plishment of these 
**iiiles*:ones»" Again, using Project A as. an example, in planning a monitoring system for 



6 



« 



this project, a measurable milestone that could be identified would be, completion of 
the preparation of the application to be submitted to PHA within a prescribed time limit. 
In developing the monitoring system, provisions should be made to detemine if the prepara 
tion is proceeding according to schedule and, if not, what should be done to correct 
whatever is responsible for the delay* 

Program monitoring is an extremely important activity, because often the success 
or failure of a progreun can be detemined long in advance, if proper measures are taken, 
or not taken, during , the plannii^g process to insure that corrective steps can and will 
be taken as a function of monitoring at the time and to the degree necessary. 



2.5 Program Evaluation 



A significant phase of the planning process is the development of specific pro- 
cedures for determining how well the Program did in teanns of achieving its stated objec- 
tives • This process is called program evaluation • No planning process is complete 
without provisions being made for the evaluation of a program, both at its completion and 
at some reasonable intervals during its operation • Whatever the case, it should be clearly 
detcimined, during the planning phase, what criteria will be used for the program evaluation, 
how it will be conducted and by whom* In making the£ie deteminations , measurable "performance 
indicators" should be clearly identified* In the case of Project A, this would mean 
identifying those factors that will indicate the extent to which a particular program 
objective is achieved* One such "performance indicator" would be, whether or not Project 
A actually was successful in erecting 125 low-income housing units in the Fourth Ward area, 
and, if so, were these units erected within the proposed time schedule* In evaluating 
Project A this obviously would be the best indicator of total objective achievement* How- 
ever Project A may not achieve this particular objective at the time it is evaluated* Con* 
seguently, other "perfomance indicators" relative to this particular objective should also 
be identified* These should include such things as the number of units that were actually 
constructed, if any; what progress was made, if any, in reaching the milestones that were 
established; and to what extent did the program operate within the established time frame* 

The evaluation might also consider such factors as what impact did the program 
have on the area in which it was conducted; how did the people in the area relate and 
react to the program; was the program responsible for motivating others to do something 
about the housing situation in the area* 

In planning for the evaluation of a program it is important to view this phase 
of the process in proper perspective* Often, program evaluation is seen as a "necessary 

o 



evil/" and not as the ef feet ive - tool that it should be. In addition to indicating what 
a program has done and/or not done, a "good" evaluation instrument should also indicate 
why a program was not able to do certain things. For exanT)le, if Project A was unable 
to achieve its objectives of erecting 5 units / 125 units because mid-way during the imple- 
mentation of the program PHA put a freeze on all funding. This represents an unanticipated 
external event which could not be anticipated — particularly since tentative approval had 
been granted on the application. This and similar factors should be considered at time 
the program is evaluated and would have a major bearing on determining the success or 
failure of the program. 



2 . 6 Budget Preparatio n 



Preparation of a program budget is by far, one of the majr functions involved 
in PKOGRAM PLANNING. Without an adequately planned and developed budget, no prorram 
can be expected to achieve its objectives, no matter how well the other phases of the 
planning process have been performed. Therefore, some attention will now be given to 
this most important function. O 

SinT)ly stated, a budget tells you how much money will be spent, how and for 
what it will be spent, and the time within which it will be spent, in the case of* 
Project A, its budget would indicate the following: 

1. The number and kind of personnel needed in order to achieve all of its 
program objectives and how much will this personnel cost. (This represents 
the salaries and wages category in the budget, and generally is broken 
down in terms of professional, consultants and clerical personnel). 

2. Whether or not Project A will provide employee benefits auid, if so, at what 
percentage rate. (This would include FICA, Health Insurance, etc.) 

3. What will be the nature of Project A*s operation, including such things as 
staff travel, equipment, contractual services, supplies, printing, etc., 
and how much each of those items will cost. 

4. Any cost incurred by Project A in conducting its program, but is not directly 
related, such as administrative cost over and above the direct administration 
of the program. This is considered indirect cost* (Generally, this happens 
when a project is conducting more than one program and it id necessary for 



8 



there to be some involvement of the Project *s personnel and resources in 
the conducting of a particular program*) 

In preparing a budget in is essential that each item included in the budget is 
shown to be directly related to the actual performance of the various tasks required in 
order to achieve the progrpxa .^^->iectives» This can be accomplished by preparing 
a budget justification / which spells out in detail how each item relates and the basis 
for the cost involved* Using Project A as an example, a sample budget and budget justi* 
fication have been prepared. (See Exhibit B *i C) 



9 



3*0 CONCLUSION 



Although PROGRAM PLANNING involves a number of distinct steps, these should be 
viewed collectively* The omission of any of these steps will severely affect the out- 
come of the planning process* If each of these steps is given ample consideration there 
is every likelihood that the planning process will result in there being a well thought- 
out and adequately planned course of action to be followed, irrespective of the desired 
end to which this action is directed* 



10 



Gantt Chak't: An Explanation 



column Onfe 
Column Two 
Column Three 
Column Four 
Column Five 
Column Six 
Column Seven 
colximn Eight 



A brief* statement indicating each major task to be performed is 
written in this column. 

The name or position of the person (s) who is responsible for per- 
forming each major task is written in this column. 

The estimated number of jmonths required to perform each major task 
is written in this column. 

The estimated starting date and ending date of each major task is 
written in this column; 

The results of a task having been completed is written in this 
column. 

The estimated amount of money it will take to complete each major 
task is written in this column. 

A brief statement indicating for what the money will be used is 
written in this column. 

The source form which the money comes is written in this column. 



GANTT CmRT 



EXHIBIT X 

12 3 4S678 



TORK TASKS 


TASK 
R£SP* 

■ 


W>RK SCHEDUL'F 

(wmns) 


Dates 


Performance 
Indicators 


costs 

* 


Utilization 


source 


X 


2 


3 


4 


5 


6 


7 




9 


10 


11 


12 


1* Preparation 
and submis- 
sion of an 
applicn- 
tion to 
TEA 

2* Selecting 
and nc* 
quiring 
the sites 

3 * * * * * 

4 * * * * * 

5 * * * * * 

1 ; 


Director , 
Housing 
Special- 
ist, Con- 
sultant, 
Secre- 
tary • 

Director 
H6uaing 
Special** 
ist* 


























1- 1-74 
3-31-74 

2- 1-74 

3- 31-74 


Finished Ap- 
pi' cation 
submitted to 
PHA 

Acquisition 
of site* 


$4050 

.1625 


Salaries, 
consultants r 
supplies 

Salaries and 

earnest 

money 


Local 
funds 

Local 
funds 


<— 




— > 


<— 


— » 



EXHIBIT B 
PROJECT A 

Proposed Budget 
1974 



Direct Cost 

1* Salaries and wages « 

a* Professional 

1 Program Director $ 15,000 

1 Housing Specialist 12,000 

1 Community Relations Specialist 10,000 

Subtotal $ 37,000 

consultants 50 days @ $100 par day 
& Contract 

Services 30,000 
' Clerical 

1 Secretary 6,000 

Subtotal 6,000 

2. Employee Benefits 012 5,160 
3» Operating cost 
a» Travel 

(1) In to%m travel for staff, 50 miles 1,152 
per week @ *16^ per mile x 3 staff 
X 48 weeks 

b * Equipment (purchase , rental , repair) 

(1) IBM typewriter - 1 e $600 600 



(2) File Cabinets -28 $100 200 

(3) Calculator - 1 6 $300 300 

(4) Miscellaneous equipment 1,000 

Subtotal 4,406 

c. Contractual Service'? 

(1) Rental of Program Office facilities 1,200 
2,000 sq, ft, @ ,60* sq, ft, (in- 
cluding utilities) 

Subtotal 1,200 

d. Other 

(1) Consumable supplies and materials 1,200 

(2) Telephone services @ $50 per month 600 
X 12 

(3) Earnest Money 500 

(4) Legal Fees 500 

(5) construction cost - including land 2,250,000 
acquisition and architectural services 

for 125 units and rehabilitation of 
100 units 

Subtotal 2,252,300 
Total Direct cost 2,312,218 
B, Indirect cost -0- 



EXHIBIT C 
BUDGET JUSTIFICATION 



14 



A* Salaries 

1* Professional 

2» Secretary 



Based on prevailing rates for similar positions 
in the Houston area* 

Based on prevailing rates for similar positions 
in the Houston area* 



B* Job Responsibilities 
1* Program Director 

2* Housing Specialist 



3* Community Relations 
Selection 



4* Secretary 



Major responsibility for all program activities 
and operations* 

Major responsibility for planning and development 
housing program and site selection* 

Major responsibility for coordinating community 
involvement activities and developing Housing 
Committee* 



Perform general secretarial duties* 



ERIC